RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
J••• S•••••
- L•• F•••••••• L•• BD affiliated currentsince May 24, 2021 · Waconia, Mn
- F•• W••••• M••••••••• L•• BD affiliatedFeb 10, 2020 to May 17, 2021 · West Des Moines, Ia
- P••••••••• S••••• S••••••••• L•• institutionalFeb 7, 2018 to Jan 30, 2020 · Minneapolis, Mn
- P•••• S••••••••• L•• no RAUMFeb 1, 2018 to Dec 3, 2018 · Plymouth, Mn
- L•• F•••••••• L•• BD affiliatedMay 31, 2012 to Dec 22, 2017 · Minnetonka, Mn
- U••• F•••••••• P••••••• S••••••• formerMar 24, 2011 to Dec 5, 2011 · Barrington, Il
- A••••••••• I••••••••• S•••••••• I••• independent RIAFeb 3, 2009 to Mar 4, 2011 · Green Bay, Wi
- F•• W••••• M••••••••• L•• to L•• F•••••••• L••left May 17, 2021, registered May 24, 2021 (7 days) · Affiliated broker-dealer or bank to another
- P••••••••• S••••• S••••••••• L•• to F•• W••••• M••••••••• L••left Jan 30, 2020, registered Feb 10, 2020 (11 days) · Other
- P•••• S••••••••• L•• to P••••••••• S••••• S••••••••• L••left Dec 3, 2018, registered Feb 7, 2018 (-299 days) · channel change inside one enterprise, not a move · moved with a team
- L•• F•••••••• L•• to P•••• S••••••••• L••left Dec 22, 2017, registered Feb 1, 2018 (41 days) · RIA to affiliated broker-dealer or bank
- U••• F•••••••• P••••••• S••••••• to L•• F•••••••• L••left Dec 5, 2011, registered May 31, 2012 (178 days) · Other
- A••••••••• I••••••••• S•••••••• I••• to U••• F•••••••• P••••••• S•••••••left Mar 4, 2011, registered Mar 24, 2011 (20 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address